Investor Advisory Panel Agenda — October 27, 2023

Meeting DateFriday, October 27, 2023
Meeting Time12PM – 5PM EST
LocationVideoconference
Members

Dorothy Sanford (Chair)

Moshe Milevsky (Vice Chair)

Kerry Baisley

Heidi Conrad

James Emmerton

Cristie Ford

François Lavallée

Andrew Nicholson

Enoch Omololu

Invitees

CIRO staff:

Matthew Brady – VP, Office of the Investor

Madeleine Cooper – Senior Policy Counsel, Member Regulation Policy

Susan Farrell – Director, Case Assessment / Complaints & Inquiries

Sonali GuptaBhaya – VP, Market Policy & Trading Conduct Compliance (Acting)

Karen McGuinness – SVP, Office of the Investor, Membership Intake & Innovation

Tatsiana Okun – Associate General Counsel, Litigation

Sheila Wong – Director, Case Assessment

External Participants:

Sarah Bradley – CEO, OBSI

Mark Wright – Director of Communications and Stakeholder Relations, OBSI

 

TIME (EST)AGENDA ITEMSPRESENTERS
12:00 – 12:30 PM1. Short Selling Proposal

Sonali GuptaBhaya

Theodora Lam

12:30 – 1:00 PM2. Office of the Investor - Blueprint

Karen McGuinness

Matthew Brady

1:00 – 1:15 PM3. The Complaint Landscape

Karen McGuinness

Matthew Brady

1:15 – 2:00 PM4. CIRO’s Complaints Process

Susan Farrell

Sheila Wong

2:00 – 2:30 PMBREAK
2:30 – 3:15 PM5. OBSI Presentations

Sarah Bradley

Mark Wright

3:15 – 3:45 PM6. Complaint Handling – Policy ConsultationMadeleine Cooper
3:45 – 4:15PM7. Arbitration Program ReviewTatsiana Okun
4:15 – 5:00 PM8. General Discussion and Administrative MattersDorothy Sanford

Welcome to CIRO.ca!

You can find the Canadian Investment Regulatory Organization (CIRO) at CIRO.ca with our fresh look and feel.

The following sections of the legacy mfda.ca and iiroc.ca sites have been migrated to ciro.ca:

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We will continue moving items off MFDA and IIROC in 2024. Stay tuned for future updates.

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